About this role:

This Senior Lead Compliance Officer position will provide IRM coverage of FINRA licensed bankers in Corporate and Investment Banking (CIB), specifically for the coverage sectors within investment banking.

In this role, you will:

Develop, oversee, train, and provide expert business and regulatory compliance advice. Provide independent credible challenge of business activities.Establish, implement, and maintain risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Enterprise Policy requirements.Work with complex business units, rules, and regulations on moderate to high-risk compliance matters.Development of monitoring and/or reporting program for front line securities activities.Leadership role in Compliance oversight of RCSA program for securities risk in ongoing work including Refresh activities.Provide direction to the business on developing oversight and challenge of corrective action plans for issues.Identify and recommend opportunities for process improvements and risk control development.Report findings and make recommendations on Compliance Risk matters to management and appropriate committees.Work collaboratively with key stakeholders and Compliance partners in Capital Market (Equity and Debt Capital Markets, and Mergers & Acquisitions) through transaction lifecycle.Collaborate and consult with key stakeholders to resolve issues and achieve goals.

Required Qualifications:

7+ years of Compliance experience, or equivalent demonstrated through one or a combination of the following: work experience, training, military experience, education

Desired Qualifications:

Strong financial services experience and understanding of industry practices. Thorough knowledge of securities regulatory compliance, risk management and risk standards/controls.Excellent verbal and written communication skills, and ability to excel in fast-paced environment.Strong analytical skills with great attention to detail and accuracy.Sound understanding of Financial Sponsor transaction compliance requirements.BS/BA degree or higher.FINRA registration including Series 79 preferred.

Posting Locations:

150 E. 42nd Street - New York, New York401 S. Tryon St - Charlotte, North Carolina

Job Expectations:

This position currently offers a hybrid work scheduleWillingness to work on-site at stated location on the job openingThis position is not eligible for VISA sponsorshipThis position is subject to FINRA Background Screening Requirements, including successful completion and clearing of a background check. Internal transfers are subject to comply with 17 CFR 240.17f-2 of the Securities Exchange Act of 1934 and FINRA Bylaws, Article III, Section 3, which states that Associated Persons should not be subject to statutory disqualification. Successful candidates must also meet ongoing regulatory requirements including additional screening and are required to report certain incidents.

Pay Range
 

Reflected is the base pay range offered for this position. Pay may vary depending on factors including but not limited to achievements, skills, experience, or work location. The range listed is just one component of the compensation package offered to candidates.

$144,400.00 - $300,000.00

Benefits

Wells Fargo provides eligible employees with a comprehensive set of benefits, many of which are listed below. Visit Benefits - Wells Fargo Jobs for an overview of the following benefit plans and programs offered to employees.

Health benefits401(k) PlanPaid time offDisability benefitsLife insurance, critical illness insurance, and accident insuranceParental leaveCritical caregiving leaveDiscounts and savingsCommuter benefitsTuition reimbursementScholarships for dependent childrenAdoption reimbursement

Posting End Date:

26 Sep 2024

*Job posting may come down early due to volume of applicants.

We Value Diversity

At Wells Fargo, we believe in diversity, equity and inclusion in the workplace; accordingly, we welcome applications for employment from all qualified candidates, regardless of race, color, gender, national origin, religion, age, sexual orientation, gender identity, gender expression, genetic information, individuals with disabilities, pregnancy, marital status, status as a protected veteran or any other status protected by applicable law.

Employees support our focus on building strong customer relationships balanced with a strong risk mitigating and compliance-driven culture which firmly establishes those disciplines as critical to the success of our customers and company. They are accountable for execution of all applicable risk programs (Credit, Market, Financial Crimes, Operational, Regulatory Compliance), which includes effectively following and adhering to applicable Wells Fargo policies and procedures, appropriately fulfilling risk and compliance obligations, timely and effective escalation and remediation of issues, and making sound risk decisions. There is emphasis on proactive monitoring, governance, risk identification and escalation, as well as making sound risk decisions commensurate with the business unit’s risk appetite and all risk and compliance program requirements.

Candidates applying to job openings posted in US: All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, disability, status as a protected veteran, or any other legally protected characteristic.

Applicants with Disabilities

To request a medical accommodation during the application or interview process, visit Disability Inclusion at Wells Fargo.

Drug and Alcohol Policy

 

Wells Fargo maintains a drug free workplace.  Please see our Drug and Alcohol Policy to learn more.

Wells Fargo Recruitment and Hiring Requirements:

a. Third-Party recordings are prohibited unless authorized by Wells Fargo.

b. Wells Fargo requires you to directly represent your own experiences during the recruiting and hiring process.